Compliance Officer - UNDER OFFER
Compliance Officer - UNDER OFFER, Ringwood
We are now seeking an experienced Compliance Officer to work for our client in Ringwood min 2 days per week, then rest of the time can be worked from home.
This is a great opportunity to join a growing group of companies with a fantastic culture and ethics.
The role will see you providing a generalist compliance function providing advice, support and training to the business across a wide range of compliance functions, ensuring compliance of the business and to its customers in line with FCA regulation and legal obligations.
This role would suit someone highly organised who has a compliance background or who has extensive admin experience from within a regulated industry. You will naturally be a good communicator with excellent attention to detail and good IT skills.
- Liaising with the FCA on regulatory issues and assimilating and implementing regulatory requirements in a timely manner and within imposed deadlines
- Under the direction of the Operations Director and Managing Director, ensure the maintenance and completion of the Annual Compliance Plan which details the compliance controls and regularly monitoring
- To ensure that a written compliance report is completed annually detailing the effectiveness of the previous year's plan, reporting on areas of weakness and remedial action to be taken
- To ensure that a written compliance report is completed monthly to the Team Managers detailing the effectiveness and results of Quality Assurance checks, Key Compliance areas, Staff Competence and FCA changes, reporting on areas of weakness and remedial action to be taken
- To monitor that the company’s Training and Competence procedures are actioned, supervised and audited
- To ensure annual Fit and Proper declarations are completed by all those allocated a controlled function to include credit checks with a suitable sign-off
- Ensure all Financial promotions are reviewed prior to implementation and printing/publishing to ensure they are compliant
- To maintain and carry out regular checks to include New business, Financial Promotion, Complaints, Known Rule Breach, Lapsed/NTU/Cancelled, Fees and Commissions
- Ensure half-yearly reports are submitted electronically to the FCA in a timely manner in accordance with FCA schedules
- To ensure compliant PI cover is in place
- In conjunction with the Operations Director and Managing Director ensure provision is made based on Risk Management on an annual basis giving areas of responsibility and identifying areas in a high, medium and low risk
- To ensure appropriate training is delivered on various aspects of compliance such as money laundering, GDPR, FCA regulation and competence of roles
- To carry out, at least quarterly, file checks from a random sample of staff files and sign off as compliant or return for further action, noting development areas
- Ensure updates from the FCA are implemented across the company
- To compile and submit half yearly reports to FCA in connection with complaint received, resolved and ongoing
- To sign off all CPD records in line with Training and Competence requirements.
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